International intellectual property arbitration / Trevor Cook, Alejandro I. Garcia.
2010
K1401 .C662 2010 (Map It)
Available at Cellar
Formats
| Format | |
|---|---|
| BibTeX | |
| MARCXML | |
| TextMARC | |
| MARC | |
| DublinCore | |
| EndNote | |
| NLM | |
| RefWorks | |
| RIS |
Items
Details
Author
Title
International intellectual property arbitration / Trevor Cook, Alejandro I. Garcia.
Published
Alphen aan den Rijn, The Netherlands : Kluwer Law International, [2010]
Distributed
Frederick, MD : Sold and distributed in North, Central and South America by Aspen Publishers
Copyright
©2010
Call Number
K1401 .C662 2010
ISBN
9789041127259 (hbk. : alk. paper)
9041127259 (hbk. : alk. paper)
9041127259 (hbk. : alk. paper)
Description
xxvi, 464 pages ; 25 cm.
System Control No.
(OCoLC)318874437
Bibliography, etc. Note
Includes bibliographical references and index.
Record Appears in
Added Author
Table of Contents
List of Abbreviations
xxiii
Preface
xxv
ch. 1
Introduction
1
1.
The Structure and Scope of This Book
1
2.
Areas of IP Dispute Resolution Not Addressed by This Book
2
2.1.
Domain Name Disputes
2
2.2.
Expert Determination
3
2.3.
IIA Disputes
4
ch. 2
Intellectual Property, Agreements Relating to It and Disputes that Arise as to It or under Such Agreements
5
1.
Introduction
5
1.1.
What Is Intellectual Property?
5
1.2.
Registered IPRs
7
1.3.
International Aspects of IP
8
1.4.
Agreements Relating to IPRs
10
2.
Specific Types of IP and Some Disputes Encountered over Them
12
2.1.
Patents
12
2.1.1.
Introduction
12
2.1.2.
Disputes under Patent Licenses
15
2.2.
Copyright and Related Rights
18
2.3.
Trademarks
19
2.4.
Designs
19
2.5.
Confidential Information
20
ch. 3
Benefits and Limitations of International Arbitration for IP Disputes
23
1.
Introduction
23
2.
Main Features of International Arbitration
23
2.1.
Arbitral Awards Are Readily Enforceable in Most Countries of the World
23
2.2.
International Arbitration and Party Autonomy
27
2.2.1.
Party Autonomy and Neutral Proceedings
27
2.2.2.
Autonomy to Choose Decision-Makers
29
2.2.3.
Procedural Flexibility
31
2.2.3.1.
Conduct of the Proceedings
31
2.3.3.2.
Possibility to Design Special Mechanisms for Dispute Resolution
32
2.2.3.3.
Incentive for Settlements
33
2.2.4.
Due to Its Contractual Nature Arbitration Lacks Some Features of Litigation
34
2.2.4.1.
Arbitrators Lack Imperium
34
2.2.4.2.
Lack of Powers upon Third Parties
35
2.3.4.3.
Arbitral Awards Do Not Have Precedential Value and Inter Partes Effects of Arbitration
36
2.2.5.
Some Possible Concerns Arising Out of the Contractual Nature of International Arbitration
36
2.2.5.1.
Concerns Due to the Lack of a Detailed Procedural Framework
36
2.2.5.2.
Arbitrators 'Split the Baby'
37
2.3.
International Arbitral Awards Are Final
38
2.4.
Arbitration May Be Cheaper and Faster than Litigation
41
2.4.1.
Length of Arbitral Proceedings
41
2.4.2.
Costs
42
2.4.3.
Multi-jurisdictional IP Cases
44
2.5.
Confidentiality
46
3.
Arbitration or Litigation of IP Disputes?
48
ch. 4
Arbitrability of IP Disputes
49
1.
The Issue of Arbitrability of IP Disputes
49
1.1.
Introduction
49
1.2.
Why Arbitrating IP Disputes May Be an Issue?
50
1.3.
Incidence and Scope of Inarbitrability Issues in Relation to IP Disputes
52
2.
Resolving Issues of Arbitrability in International IP Disputes
53
2.1.
Inarbitrability Objections Raised before the Arbitral Tribunal
54
2.1.1.
Inarbitrability and Jurisdiction
54
2.1.2.
Applicable Law
54
2.1.3.
Law of the Countries Where the IP in Issue Subsists
56
2.1.4.
Application of Laws of Countries of Registration of IPR as Foreign Public Policy Rules
56
2.1.5.
Resolution of Issues of Arbitrability
57
2.2.
Inarbitrability Objections before National Courts in Parallel Proceedings
57
2.3.
Inarbitrability in the Context of a Setting Aside Action
58
2.4.
Inarbitrability in the Context of Challenges to Recognition and Enforcement of Awards
59
2.4.1.
A Fourth Bite of the Apple?
59
2.4.2.
Invalidity Effects of the Award
59
2.4.2.1.
Awards that Fully Accept 'Invalidity'
60
2.4.2.2.
Awards that Completely Reject 'Invalidity' Allegations
60
2.4.2.3.
Awards that Partially 'Invalidate' Asserted IP
60
2.4.3.
Law Applicable by the Court of the Place of Recognition and Enforcement
61
2.5.
Dealing with Public Policy Arguments if the Applicable Law Does Not Provide for a Specific Solution on Arbitrability
62
3.
The Public Policy Debate
62
3.1.
Potential Public Policy Arguments in Support of Inarbitrability
62
3.1.1.
State Involvement in the Creation of IPR
63
3.1.2.
IP Creates Monopolies or Rights of Exclusivity
64
3.1.3.
Protection of the Interests Behind the Grant of Monopolies
64
3.1.4.
Existence of Bodies that Have Specific Jurisdiction on Validity Issues
65
3.2.
Two Keys to Rebut Public Policy Arguments against Arbitrability of IPR
66
3.2.1.
Insufficiency of Pure Public Policy Arguments
66
3.2.2.
Public Policy Arguments in the Light of the Inter Partes Effect of Arbitration
68
3.2.2.1.
State Involvement and Sovereign Acts Arguments
68
3.2.2.2.
Monopolies and Underlying Policy Interest Rationales
71
3.2.2.3.
Exclusive Jurisdiction of Certain Bodies Argument
73
3.2.3.
International Public Policy and Restrictive Application of Public Policy
75
ch. 5
Legal and Regulatory Framework of an IP Arbitration
77
1.
Introduction
77
2.
Regulatory Framework of the Arbitration Itself
78
2.1.
Agreement of the Parties, Institutional Rules and Lex Arbitri
78
2.2.
Seat and the Lex Arbitri
79
2.2.1.
Two Interrelated Issues
79
2.2.2.
Evolution of Seat as Choice of Lex Arbitri
80
2.2.3.
Choosing 'Foreign' Law to Govern the Conduct of an Arbitration
82
2.3.
Absence of Choice of Seat by the Parties
83
3.
Regulatory Framework in Relation to Substantive Issues
85
3.1.
Importance of the Regulatory Framework and Different Issues
85
3.2.
The Law Applicable to Issues Arising from the Underlying Contract
86
3.2.1.
Introduction
86
3.2.2.
The Applicable Law Where Parties Have Concluded a Choice of Law Agreement
86
3.2.2.1.
Party Autonomy
86
3.2.2.2.
Limitations to Party Autonomy: Mandatory Rules
89
3.2.2.3.
Pragmatic Approach to Non-contractual IP Issues in International Arbitration
91
3.2.2.4.
Potential Choices of Substantive Law
95
3.2.2.4.1.
National Law
95
3.2.2.4.2.
Non-national Law: 'Rules of Law'
97
3.2.3.
Law Applicable to the Substance of the Dispute in the Absence of Agreement
98
3.2.3.1.
Stance of National Law on Choice of Law for Substantive Issues
98
3.2.3.1.1.
General Regime of Choice of Law Rules of the Seat
98
3.2.3.1.2.
Specialized Methods Provided by the Law of the Seat
99
3.2.3.1.3.
Application of Choice of Law System that the Arbitral Tribunal Considers Appropriate
100
3.2.3.1.4.
Direct Application of Substantive Law that the Arbitral Tribunal Considers Appropriate
101
3.2.3.2.
Institutional Rules
102
4.
Law Applicable to the Agreement to Arbitrate
103
4.1.
Different Applicable Laws
103
4.2.
Law Applicable to Issues of Existence and Validity of an Arbitration Clause
104
4.2.1.
Existence of a Specific Choice of Law Agreement
104
4.2.2.
Absence of a Specific Choice of Law Agreement
104
4.2.2.1.
The Law of the Underlying Contract
104
4.2.2.2.
The Law of the Seat
105
4.2.2.3.
Closest Connection
106
4.2.2.4.
Direct Application of Principles of International Law
107
4.3.
Validation Principle
107
ch. 6
Arbitration Agreements
109
1.
Introduction
109
2.
Framework of International Arbitration Agreements
110
2.1.
Introduction
110
2.2.
Arbitration Agreements under the New York Convention
110
2.2.1.
Agreement in Writing, Signature and Exchange of Letters
111
2.2.2.
Existing or Future Disputes
112
2.2.3.
Defined Legal Relationship
112
2.2.4.
Arbitrability
112
2.3.
Arbitration Agreements under National Law
112
2.3.1.
Capacity
113
2.3.2.
Formation of Arbitration Agreements
113
2.3.3.
Formal Validity
114
2.3.4.
Substantive Validity of Arbitration Agreements
115
2.3.5.
Arbitrability
116
2.3.6.
Parties to Arbitration Agreements
117
2.3.6.1.
Group of Companies Doctrine
117
2.3.6.2.
Alter Ego Doctrine
118
2.3.6.3.
Equity and Good Faith Issues
118
2.3.6.4.
Assignments
118
2.4.
The Separability Doctrine
119
3.
Arbitration Agreements: Choosing and Drafting
120
3.1.
Introduction
120
3.2.
What Kind of Clause?
121
3.3.
Ad Hoc or Institutional Arbitration?
123
3.3.1.
Ad Hoc Arbitration
123
3.3.2.
Institutional Arbitration
124
3.4.
Scope of Arbitration Clause
126
3.5.
Choosing the Seat or Place of Arbitration
128
3.6.
Choosing the Applicable Substantive Law
129
3.7.
Arbitrator Issues
130
3.7.1.
Choosing a Number of Arbitrators
130
3.7.2.
Arbitrator Designated in Arbitration Clause and Requirements
132
3.8.
Language
132
3.9.
Combination of Procedures
133
3.10.
Streamlining Institutional Rules
133
3.11.
Multiparty Issues
134
3.12.
Specific Issues in Relation to Arbitration Clauses for IP Disputes
135
3.12.1.
Confidentiality
135
3.12.2.
Arbitrability
136
3.12.3.
Appeal Mechanisms
136
3.12.4.
Standby Arbitral Tribunals
138
ch. 7
The Arbitral Tribunal
141
1.
Establishment of the Arbitral Tribunal
141
1.1.
One of the Most Important Stages in Arbitration
141
1.2.
Number of Arbitrators
141
1.3.
One or Three Arbitrators?
142
1.4.
Methods of Appointment
144
1.4.1.
Appointment of Sole and Presiding Arbitrators
144
1.4.1.1.
Appointment by the Parties
144
1.4.1.2.
Appointment in Institutional Arbitrations
144
1.4.1.3.
Appointing Authority
145
1.4.1.4.
Appointment by Co-arbitrators
146
1.4.1.5.
Appointment by National Courts
146
1.4.2.
Selection of Party-Appointed Arbitrators
147
1.4.3.
Nomination of Party-Appointed Arbitrators in Multiparty Arbitrations
148
2.
Who Can Be an Arbitrator?
150
2.1.
Natural Person
150
2.2.
Capacity
150
2.3.
Legal Qualification
150
2.4.
Nationality
150
2.5.
Lack of Bias
151
2.6.
Requirements Agreed by the Parties
151
3.
Independence and Impartiality of Arbitrators
152
3.1.
A Fundamental Principle of International Arbitration
152
3.2.
Independence and/or Impartiality?
152
3.3.
Standard of Proof to Disqualify Arbitrators
154
3.4.
Disclosure Obligations
154
3.4.1.
Prior to Appointment
155
3.4.2.
Disclosure Obligation during the Conduct of the Proceedings
156
4.
Challenges to Arbitrators
156
4.1.
Procedure
156
4.1.1.
Pre-challenge Disclosures and Objections
156
4.1.2.
Resolution of Challenges
157
4.1.2.1.
Challenges under Institutional Rules
157
4.1.2.2.
Challenges under National Legislation
158
4.1.3.
Effect of a Successful Challenge
160
5.
Removal of Arbitrators
160
6.
Replacement of Arbitrators
161
6.1.
Procedure
161
6.2.
Consequences of Appointment of Replacement Arbitrators
162
7.
Truncated Tribunals
163
8.
Arbitrators' Remuneration and Expenses of the Tribunal
165
8.1.
Arbitrators' Right to Remuneration
165
8.2.
Cancellation Fees
166
8.3.
Expenses of the Arbitral Tribunal
166
8.4.
Deposits
167
9.
Obligations of Arbitrators
167
10.
Arbitrators Liability and Immunity
169
11.
Jurisdiction of the Arbitral Tribunal and the Competence-Competence Doctrine
170
11.1.
Introduction
170
11.2.
The Competence-Competence Doctrine
170
11.3.
Resolution of Jurisdictional Challenges by Arbitral Tribunals
172
ch. 8
Organization and Conduct of Arbitral Proceedings and the Taking of Evidence
175
1.
Introduction
175
2.
Organization of the Proceedings in General
175
2.1.
Introduction
175
2.2.
Timeline and Structure of the Proceedings
177
2.3.
Bifurcation of the Proceedings
178
2.4.
Organization of Written Submissions
179
2.4.1.
Number and Sequence of Submissions
179
2.4.2.
Evidence in Support of Written Submissions
180
2.4.3.
Amendment of a Party's Case
181
2.5.
Organization of Production of Evidence
181
2.5.1.
Documentary Evidence and Disclosure
181
2.5.1.1.
Time and Form of Evidence
181
2.5.1.2.
Document Disclosure
181
2.5.2.
Witness Evidence
182
2.5.3.
Expert Evidence
182
2.6.
Determination of Language of the Proceedings
182
2.7.
Confidentiality
183
2.8.
Partial Decisions in Relation to the Scope and Construction of Asserted IPR
183
2.9.
Creation of Standby Arbitral Tribunals
183
2.10.
Awards on Costs
183
2.11.
Deposits and Advance Payments
184
2.12.
Appointment of a Secretary to the Tribunal
184
2.13.
Other Potential Issues Relating to the Organization of the Proceedings in General
185
3.
Organization of the Evidentiary Hearing
185
3.1.
Opening and Closing Statements
186
3.2.
Sitting Hours and Time Allocation for the Hearing
186
3.3.
Sets of Documents for the Hearing
187
3.4.
Record of Contents of the Hearing
187
3.5.
Examination of Fact Witnesses and Experts
188
3.6.
Objections to Questions
188
3.7.
Presence of Witnesses or Experts during Examination of Other Witnesses or Experts
188
3.8.
Whether Witnesses and Experts Can Be Examined by Video-Link
189
3.9.
Whether the Witnesses and Experts Will Be Examined on Oath or Affirmation
189
3.10.
Use of Documents for Cross-Examination
190
3.11.
Interpreters
190
3.12.
Venue for the Hearing
190
3.13.
Tribunal's Cancellation Policy
190
3.14.
Issuance of Procedural Order Setting Out the Timeline for the Proceedings
190
4.
Cost-Controlling Measures
191
5.
The Conduct of the Proceedings and the Taking of Evidence
191
5.1.
Introduction
191
5.2.
The Conduct of the Proceedings According to Prevailing International Arbitration Practice
192
5.2.1.
Different Stages
192
5.2.2.
Commencement of Proceedings
192
5.2.2.1.
The Request for Arbitration
193
5.2.2.2.
Answer to the Request for Arbitration
194
5.2.2.3.
Determination of the Seat of the Proceedings
195
5.2.3.
Establishment of the Arbitral Tribunal
195
5.2.4.
Case Management Meeting, Procedural Order, and Terms of Reference
196
5.2.5.
Parties' Submissions
196
5.2.5.1.
Written Submissions
197
5.2.5.1.1.
Pre-hearing Submissions
197
5.2.5.1.2.
Post-hearing Submissions
198
5.2.5.2.
Oral Submissions
198
5.2.6.
The Taking of Evidence
199
5.2.6.1.
Introduction
199
5.2.6.2.
Burden and Standard of Proof
199
5.2.6.3.
Admissibility and Probative Value
200
5.2.6.4.
Documentary Evidence
201
5.2.6.4.1.
'Document' Defined
201
5.2.6.4.2.
Document Disclosure or Discovery
201
5.2.6.4.3.
Privilege
202
5.2.6.4.4.
Redfern Schedules
205
5.2.6.5.
Witnesses
205
5.2.6.5.1.
Who Can Be a Witness?
206
5.2.6.5.2.
Form and Examination of Witnesses
206
5.2.6.6.
Experts
208
5.2.6.6.1.
Introduction
208
5.2.6.6.2.
Party-Appointed Experts and Experts Appointed by the Tribunal
208
5.2.6.6.3.
Expert Tutorials for Arbitrators
210
5.2.6.7.
Agreed Primers, Models and Demonstrative Evidence
211
5.2.6.8.
Inspections and Site Visits
211
5.2.6.9.
Experiments
212
5.2.6.10.
Other Means of Presenting Evidence Particular to IP Disputes
212
5.2.7.
The Evidentiary Hearing
212
5.2.8.
Closing of the Proceedings
214
5.2.9.
The Award(s)
214
5.2.10.
Post-termination Issues
215
6.
Default Proceedings
215
7.
Fast-Track Arbitrations
217
8.
Assorted Issues Associated to the Conduct of the Proceedings
219
8.1.
Representation
219
8.2.
Consolidation of Parallel Arbitrations, Joinder and Third-Party Intervention
219
9.
Interim Relief
221
9.1.
Introduction
221
9.2.
Interim Measures Ordered by Arbitral Tribunals
221
9.2.1.
Normative Framework
221
9.2.2.
Different Measures that Tribunals May Grant
222
9.2.2.1.
Measures Aiming to Maintain the Status Quo or Prevent Harm
222
9.2.2.2.
Orders Seeking to Ensure the Enforceability of the Award
223
9.2.2.3.
Preservation or Inspection of Property
224
9.2.2.4.
Security for Costs
224
9.2.2.5.
Interim Payments
224
9.2.3.
Prerequisites to Order Interim Measures
225
9.2.4.
Form of a Decision on Interim Relief
225
9.2.5.
Enforcement of interim Measures
226
9.3.
Interim Measures Ordered by National Courts in Support of Arbitration
227
ch. 9
Confidentiality of Arbitral Proceedings
229
1.
Introduction
229
2.
Confidential Arbitrations: Protection against Disclosures to Third Parties
230
2.1.
Only Certain Arbitrations Are both Private and Confidential
230
2.2.
Express Agreement of the Parties Providing for Confidentiality
232
2.3.
Confidentiality under Institutional Rules
232
2.3.1.
Arbitration Rules Providing for Comprehensive Confidentiality Obligations
233
2.3.1.1.
CIETAC Arbitration Rules
233
2.3.1.2.
German Institution of Arbitration (DIS)
233
2.3.1.3.
HKIAC Administered Arbitration Rules
233
2.3.1.4.
LCIA Rules
234
2.3.1.5.
Rules of Arbitration of the Swiss Chambers of Commerce ('Swiss Rules')
235
2.3.1.6.
WIPO Arbitration and Expedited Arbitration Rules
235
2.3.2.
Arbitration Rules that Do Not Impose Duties of Confidentiality upon the Parties
237
2.3.2.1.
AAAJICDR Rules
237
2.3.2.2.
ICC Rules
237
2.3.2.3.
SCC Rules
238
2.3.2.4.
SIAC Rules
239
2.4.
Confidentiality under National Law
239
2.4.1.
Different Approaches in National Law
239
2.4.2.
Jurisdictions Generally Considering Arbitration Confidential
240
2.4.2.1.
England
240
2.4.2.2.
France
241
2.4.2.3.
New Zealand
243
2.4.2.4.
Scotland
243
2.4.2.5.
Singapore
244
2.4.2.6.
Spain
244
2.4.3.
Jurisdictions Where Arbitration Is Not Considered Confidential
245
2.4.3.1.
Australia
245
2.4.3.2.
Sweden
245
2.4.3.3.
United States
247
2.5.
Practical Issues Arising from Confidential Arbitrations
247
2.5.1.
Potential Gaps vis-à-vis Arbitrators, Lawyers and Experts
248
2.5.1.1.
Ethical Rules and Implied Duties in Relation to Arbitrators
248
2.5.1.2.
Ethical Rules in Relation to Lawyers and Privilege Issues
249
2.5.1.3.
Duties of Secrecy Binding Professionals
250
2.5.1.4.
Conclusion: Erring on the Side of Caution Is Preferable
251
2.5.2.
Large Corporate Disputants as Parties
251
2.6.
Protecting Confidential Information in Non-confidential Arbitrations
251
2.7.
Limitations to Obligations of Confidentiality
252
2.7.1.
Limitations in Relation to Express Confidentiality Agreements
252
2.7.2.
Limitations in Institutional Rules Providing for Obligations of Confidentiality
254
2.7.2.1.
WIPO Rules
254
2.7.2.2.
LCIA Rules, Swiss Rules and HKIAC Administered Rules
254
2.7.3.
Limitations in National Law Providing for Confidentiality
255
2.7.3.1.
England
255
2.7.3.2.
France
256
2.7.3.3.
New Zealand
256
2.7.3.4.
Scotland
257
2.7.3.5.
Singapore
258
2.7.4.
Protecting Sensitive Information if an Exception to Confidentiality Applies
258
3.
Protecting Confidential Information against Opposing Parties
259
3.1.
Introduction
259
3.2.
Framework for Protecting Information from the Parties to the Arbitration
260
3.2.1.
General Powers to Conduct the Proceedings
260
3.2.2.
Rules Containing Express Provisions
260
3.2.2.1.
WIPO Rules
260
3.2.2.2.
ICC Rules
262
3.2.2.3.
IBA Rules on the Taking of Evidence in International Commercial Arbitration
262
3.3.
Practical Measures to Protect Confidential Information against Opposing Parties
263
3.3.1.
Ex Parte Disclosures
263
3.3.2.
Redaction of Documents
264
3.3.3.
Confidentiality Adviser
264
3.3.4.
Orders Protecting Confidential Information
264
3.3.5.
Confidentiality Agreements and Confidentiality Clubs
265
3.3.6.
Disclosures to External Lawyers or Advocates Only
265
4.
Breach and Enforcement of Obligations of Confidentiality and Protective Measures
266
4.1.
Relevant Elements in a Breach Analysis
266
4.1.1.
Scope of the Duty Breached According to Its Primary Source
267
4.1.2.
Applicable Law
267
4.1.3.
Nature of the Information Disclosed
268
4.1.4.
Type of Breach
268
4.2.
Jurisdiction to Pursue a Breach of Confidentiality Obligations and Protective Measures
269
4.3.
Interim Relief
269
4.4.
Permanent Remedies
270
4.4.1.
Damages
270
4.4.2.
Permanent Injunctions and Similar Measures
270
4.4.3.
Avoidance or Nullification of the Arbitration Agreement
271
4.5.
Other Possible Remedies
272
ch. 10
The Making, Setting Aside, Recognition and Enforcement of Arbitral Awards
273
1.
Introduction
273
2.
International Arbitral Awards
274
2.1.
Types of Awards
274
2.1.1.
Final Awards
274
2.1.2.
Partial Awards
275
2.1.3.
Interlocutory Awards
276
2.1.4.
Default Awards
276
2.1.5.
Consent Awards
276
2.2.
The Decision-Making Process
277
2.2.1.
Sole Arbitrators, Multiple Arbitrators and Deliberations
277
2.2.2.
Unanimous Awards, Majority Awards and Awards by Presiding Arbitrator
279
2.2.3.
Separate and Dissenting Opinions
280
2.3.
Formal Aspects of Awards
281
2.3.1.
Requirements Contemplated by Most Rules and Laws
282
2.3.1.1.
Requirements in General
282
2.3.1.2.
Date of the Award
282
2.3.1.3.
Place at Which the Award Was Made
282
2.3.1.4.
Reasons
283
2.3.1.5.
Signature
284
2.3.2.
Contents of Awards in Practice
284
2.4.
Remedies in the Award
284
2.4.1.
General Aspects
284
2.4.2.
Monetary Compensation
285
2.4.3.
Interest
286
2.4.4.
Orders to Do Something or to Refrain from Doing Something, Specific Performance
287
2.4.4.1.
Common Law and Civil Law
287
2.4.4.2.
Arbitration Practice
288
2.4.5.
Declaratory Relief
292
2.4.6.
Punitive Damages, Statutory Damages, Penalties on Breach and Astreintes
292
2.5.
Cost Awards
293
2.6.
Time Limits for the Making of the Award
295
2.7.
Scrutiny of Awards by Administering Institutions
296
2.8.
Notification of the Award to the Parties
297
2.9.
Effects of Arbitral Awards
298
2.9.1.
Termination of the Tribunal's Jurisdiction
298
2.9.1.1.
Issues Rather than Dispute as a Whole
298
2.9.1.2.
Additional or Supplementary Awards
299
2.9.1.3.
Correction of the Award
300
2.9.1.4.
Interpretation of the Award
300
2.9.2.
Preclusion upon the Parties: Res Judicata and Issue Preclusion
301
3.
Setting Aside or Annulment of Arbitral Awards
302
3.1.
Introduction
302
3.2.
Appeal Mechanisms: Review of the Merits of a Decision
303
3.3.
Setting Aside or Annulling International Arbitral Awards
304
3.3.1.
Generalities, Courts and Time Limits
304
3.3.2.
Grounds for Setting Aside Awards
304
3.3.2.1.
Absence or Invalidity of the Arbitration Agreement
305
3.3.2.2.
Jurisdictional Issues: Ultra Petita and Infra Petita
305
3.3.2.3.
Procedural Issues
307
3.3.2.4.
Inarbitrability
309
3.3.2.5.
Public Policy
309
3.3.3.
Consequences of a Court's Decision on Setting Aside Actions
310
4.
Recognition and Enforcement of Arbitral Awards
311
4.1.
Introduction
311
4.2.
Recognition and Enforcement of Foreign Awards under the New York Convention
311
4.2.1.
General Aspects
311
4.2.2.
Host Country's Jurisdiction
314
4.2.3.
Required Documentation
314
4.2.4.
Grounds to Refuse Recognition
314
4.2.4.1.
Invalidity of the Arbitration Agreement
315
4.2.4.2.
Procedural Fairness Issues
316
4.2.4.3.
Jurisdictional Issues: Ultra Petita
317
4.2.4.4.
Composition of the Arbitral Tribunal or Procedure Not in Accordance with the Arbitration Agreement or Relevant Law
318
4.2.4.5.
The Award Is Not Binding, Set Aside or Suspended
318
4.2.4.6.
Inarbitrability
320
4.2.4.7.
Public Policy
321
5.
Issues in Relation to Potential Compelled Enforcement of Awards Providing for Orders to Do Something or to Refrain from Doing Something
321
5.1.
Introduction
321
5.2.
Coercive Measures in Common Law Countries and Germanic Civil Law Countries
322
5.3.
Coercive Measures in French-Based Civil Law Countries
323
5.4.
Potential Issues Due to the Concomitance of Different Legal Systems
324
5.4.1.
Enforcement in Common Law Countries of Remedies Granted under the Laws of a Civil Law Country
324
5.4.2.
Enforcement in Civil Law Countries of Remedies Granted under the Laws of Common Law Countries
326
5.5.
Arbitral Tribunal's Retention of Jurisdiction
328
ch. 11
IP Mediation
331
1.
Introduction
331
2.
Generalities
332
2.1.
Alternative Dispute Resolution (ADR)
332
2.1.1.
Early Neutral Evaluation
332
2.1.2.
Med-Arb
333
2.1.3.
Arb-Med
334
2.2.
Key Features of Mediation
334
2.2.1.
Neutrality and Independence of the Mediator
334
2.2.2.
Voluntary
335
2.2.3.
Confidential and without Prejudice
337
2.3.
The Process of Mediation
339
2.3.1.
Preparation
339
2.3.1.1.
Venue
340
2.3.1.2.
Role of Lawyers
340
2.3.1.3.
Duration of Mediation
341
2.3.1.4.
Documentation
341
2.3.2.
Parties' Attitudes
342
2.3.3.
Attendance
342
2.3.4.
Phases and Procedure
344
2.3.4.1.
Contact with the Mediator Prior to the Mediation
344
2.3.4.2.
Initial Formalities
344
2.3.4.3.
Plenary Session
345
2.3.4.4.
Exploration Phase
346
2.3.4.5.
Negotiation Phase
346
2.3.4.6.
Settlement Phase
347
2.3.4.7.
No Settlement Outcome
348
2.3.5.
Mediation Approach: Facilitative or Evaluative?
348
2.3.6.
Utilizing the Mediator's Full Potential
349
3.
Mediation Providers and Rules
350
3.1.
Mediation Providers
350
3.2.
Mediation Rules
351
4.
Legal Framework
352
4.1.
ADR Escalation Clauses
352
4.1.1.
General Points on Escalation Clauses
352
4.1.1.1.
Precise Definition of ADR?
352
4.1.1.2.
Mandatory or Optional?
353
4.1.1.3.
Post-ADR Provision
353
4.1.2.
Sample Escalation Clauses
353
4.1.2.1.
WIPO
353
4.1.2.2.
LCIA
354
4.2.
Mediation Agreement
354
4.2.1.
Confidentiality
355
4.2.2.
Mediator: Appointment and Role
356
4.2.3.
Duty to Disclose
356
4.2.4.
Duration
356
4.2.5.
Voluntary Termination
356
4.2.6.
Settlement Agreements
357
4.2.7.
Miscellaneous Elements in a Mediation Agreement
357
4.3.
Settlement Agreements
358
4.3.1.
Validity
358
4.3.1.1.
Competition Law and Antitrust Issues
359
4.3.1.2.
Criminal Conduct
360
4.3.1.3.
General Compliance with Law
360
4.3.1.4.
Mistake and Misrepresentation
360
4.3.2.
Enforcement
361
4.3.3.
Confidentiality
361
5.
Using Mediation for Resolving IP Disputes
362
5.1.
Benefits of Mediation for Resolution of IP Disputes
362
5.1.1.
Speed
362
5.1.2.
Cost
363
5.1.3.
Control over the Process and the Outcome
363
5.1.4.
Creative Settlement Possibilities
364
5.1.1.1.
Licensing of New Territories
365
5.1.1.2.
Cross-Licensing of Technology or Connected IPRs
366
5.1.1.3.
Sponsorship Agreements
366
5.1.1.4.
Sourcing of Information
366
5.1.1.5.
Declarations as to Consent for Registration of Patents and Other Registered IPR
366
5.1.1.6.
Avoidance of Adverse Consequences of a Termination for Cause, and Concluding Deadlock
367
5.1.1.7.
Improving Commercial Relationships with Competitors
367
5.1.5.
Cross-Jurisdiction Resolution in a Single Forum
367
5.1.6.
Continuity of Relationship
368
5.1.7.
Confidentiality
369
5.2.
Circumstances in Which Mediation is Particularly Suitable
369
5.3.
Limitations of Mediation
371
5.3.1.
Matters Not Susceptible to Resolution by Mediation
371
5.3.2.
Need for Legal Precedent
372
5.3.3.
Remedy Required Unavailable at Mediation
372
5.3.4.
Criminal Behaviour
373
5.3.5.
Cost-Saving Less Critical When 'Stakes Are High'
373
6.
The Mediator
373
6.1.
Selection Considerations
374
6.1.1.
Legal Experience
374
6.1.2.
Technical Expertise and Background in the Industry or the Particular Type of IPR at Stake in the Dispute or in IP Generally
375
6.1.3.
Commercial and Mediation Expertise
376
6.1.4.
Approaches to the Role and Personality Considerations
376
6.1.5.
Assurance of Neutrality
377
6.1.6.
Potential to Develop Rapport and Trust
377
6.1.7.
Availability
378
6.2.
Quality Standards and Training
378
7.
Mediation as an Aid to Arbitral Proceedings
380
7.1.
Right Time to Mediate
380
7.1.1.
Strategic Considerations
380
7.1.2.
Prior to Arbitration
381
7.1.3.
During Arbitration
382
7.1.4.
After Arbitration
383
7.2.
Are the Roles of Mediator (or Conciliator) and Arbitrator Interchangeable?
383
7.3.
Consent Awards and Termination of the Arbitral Proceedings
384
7.4.
Limitation Period
385
Appendix 1 Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York Convention), 1958
387
Appendix 2 WIPO Arbitration Rules, 2002
393
Appendix 3 WIPO Expedited Arbitration Rules, 2002
421
Appendix 4 WIPO Mediation Rules, 2002
445
Index
453